Suitability Analyst Series 63/65

Job Summary

Providing centralized supervision of registered representatives' securities transactions, the full-time Suitability Analyst Series 63/65 will ensure compliance with FINRA, SEC, and state regulations while working remotely from any U.S. location.

Key responsibilities

• Review and approve client account documentation and trading activity to ensure regulatory compliance
• Conduct suitability reviews of customer trading activity for various business types, ensuring adherence to internal procedures and industry regulations
• Educate and train registered representatives on products and services, addressing concerns and providing operational support

Required qualifications

• Active Series 63 and 65/66 licenses
• Master's degree or equivalent experience in business and finance
• Knowledge of SEC, FINRA, and state insurance rules and regulations
• Understanding of the trade cycle and securities settlement processes
• Strong analytical and organizational skills